ISO 42001 Example Evidence

The table below lists commonly evidenced control areas for ISO 42001 and the artifacts that typically satisfy them; attach these to your controls as evidence.

Control Area	Example Evidence
Artificial intelligence management system (AIMS) scope	A documented scope statement describing the boundaries of your AI management system
Statement of Applicability	The SoA listing each control, whether it applies, and its implementation status
Management system plan	The formal plan describing how the AIMS is established, operated, and maintained
Management system objectives	Measurable objectives with owners, timelines, and the KPIs used to track them
Management review	Agendas and minutes from management reviews, including inputs considered and decisions or actions taken
Measurement and monitoring plan	A plan defining what is measured, the methods used, measurement frequency, and thresholds
Records management and control	The records control procedure covering retention, access, and integrity, plus a records inventory
Management of nonconformities	The nonconformity procedure together with corrective action records and root cause analyses
Periodic policy reviews	A policy review schedule and version history showing that reviews occur on the defined cadence
Continuous control monitoring	Exports or screenshots of your control library and monitoring dashboards showing control test status
Legal and regulatory requirements	A legal and compliance register, the policies that address each obligation, and meeting minutes from reviews
AI governance policy	The approved policy covering roles, oversight, and accountability for AI
AI committees	The committee charter, membership list, meeting cadence, and recent minutes
Organizational chart	An org chart diagram or an export from your HR system
Defined roles and responsibilities	Role descriptions, RACI matrices, or a responsibility matrix covering AI and security duties
AI resources	A resourcing plan or budget, a tooling inventory, and staffing or role assignments for AI work
AI training	Training materials and completion records for personnel in AI-relevant roles
AI practitioner proficiency	A role-based competency matrix with qualifications, certifications, and training completions
Risk assessment policy	The documented risk assessment policy
Periodic risk assessment	The most recently completed risk assessment report
Risk treatment plan	Risk register entries mapped to treatment decisions, with assigned owners and target dates
Risk tolerance	Risk appetite and tolerance statements, and the decision criteria approved by leadership
Residual risk	The risk register with documented residual risk assessments and formal risk acceptance approvals
AI risk management policy	The policy defining how AI risks are identified, assessed, treated, and monitored
AI risk tracking	The AI risk register and ongoing monitoring reports showing risk status, owners, and actions
AI impact assessment	A completed impact assessment covering intended use, affected stakeholders, and potential harms and benefits
AI development and evaluation policy	The formal policy governing how AI systems are developed and evaluated
Human oversight over AI systems	Documented oversight procedures and records from your model or use case approval workflow
AI fairness and bias evaluation	Fairness and bias testing reports, dataset analysis, evaluation metrics, and remediation actions taken
AI data management	Data management plans and procedures, dataset documentation, and records showing they are followed
AI feedback management	The documented process for collecting, triaging, and responding to internal and external feedback about AI systems
AI model environmental impact	An environmental impact assessment or sustainability reports from your cloud providers
User and system guides	End-user guides, administrator and operations guides, and runbooks for AI systems
Expectations of interested parties	A stakeholder register listing needs and expectations, mapped to the controls that address them
Architectural diagram	Current architecture diagrams, with confirmation from responsible personnel that they are accurate
Baseline configurations	Hardening standards such as Center for Internet Security (CIS) benchmarks or vendor guidance, and evidence they are applied
Change review process	Records showing peer review, approval, and enforced segregation of duties for production deployments
Testing of changes	Tickets for a sample of changes showing that testing occurred before release
Change releases approved	Pull requests or release records demonstrating authorization prior to deployment
Policies and procedures for logging	The logging and monitoring policy
Audit log contents	A sample log export showing the attributes captured, such as actor, action, and timestamp
Security events tracked and evaluated	Monitoring dashboards, alert queues, and incident tickets with triage notes
On-call team	On-call rotation schedules, escalation policies, and handoff notes
Incident response plan	The formal incident response plan
Incident response team	Documentation describing team roles, responsibilities, and escalation procedures
Incident response test	Records of tabletop or live exercises, including results, lessons learned, and participants
Procedures for unauthorized personally identifiable information (PII) disclosure	Procedures describing detection, containment, reporting, and remediation steps
Documentation of breaches involving PII	Screenshots or exports from the tracking system used to log breaches and unauthorized disclosures
Notification of incidents or breaches	Notification templates, communication logs, and the incident timeline
Communications plan	The formal communications plan
Internal communication channels	Screenshots from messaging or paging tools showing how security and AI events are communicated
External communication channels	Screenshots of customer support portals or help desk pages
Vendor management policy	The documented vendor management policy